or promissory notes shall not have any restriction to redeem before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without

such contract (if any). Any asset used as a collateral shall be identified together with the limit of the obligations. In the case where the Company or a subsidiary has intangible assets which are

behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the

clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

brokerage fees which the company has received from undertaking the securities brokerage. In case where the company submit a purchasing orders via other securities company, it shall identified as a net

has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary

asset used as a collateral shall be identified together with the limit of the obligations. In cases where the Company or a subsidiary has intangible assets which are significant to business undertaking

infrastructure risk. Compliance Guideline · Segregating l the developer from the system administrator that perform in the production environment. · Providing a written job description which identified clearly

systems assets or equipment assets shall be identified and inventory of these assets should be drawn up an maintained. Such inventory shall be reviewed at least once a year or upon any material change

the appendix attached herein; (2) a person identified by a management company as a connected person in accordance with the nature of conflicts of interest which the management company is required to